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Broker/Dealer Regulation and Enforcement 2015
Author(s):
Carmen J. Lawrence, Neal E. Sullivan
Practice Area:
Corporate & Securities
Published:
Nov 2015
ISBN:
9781402425653
PLI Item #:
57570
CHB Spine #:
B2210
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. The SEC Enforcement Landscape for Broker-Dealers and Investment Advisors (September 14, 2015)
Chapter 2. State Regulatory Requests: Using a Measured Approach to Manage a Broker-Dealer’s Objections (August 28, 2015)
Chapter 3. Identifying the Standards: DOJ, SEC and FTC Offer Guidance for Cybersecurity Preparedness (May 27, 2015)
Chapter 4. FINRA 2015 Exam Priorities Overview (January 9, 2015)
Chapter 5. SEC Approves Rule Establishing Best-Execution Standard for Dealers of Municipal Securities (December 15, 2014)
Chapter 6. SEC Adopts Final Regulation SCI Governing Technology Infrastructure of Certain U.S. Securities Market Participants (December 9, 2014)
Chapter 7. Is It Time to Reconsider ‘Chevron’ Deference for SEC Proceedings? (July 2, 2015)
Chapter 8. SEC’s Administrative Enforcement Intensifies Fairness Debate (November 6, 2014)
Chapter 9. Defending Broker Dealers in Regulatory Investigations
Chapter 10. Broker Dealer Regulation and Enforcement (November 11, 2015) (PowerPoint slides)
Index
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